SEC Form 4 · accession 0001140361-16-088865
AIRGAIN INC · AIRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
NORTHWATER INTELLECTUAL PROPERTY FUND LP 1
10% Owner · Other
Northwater Capital Management Inc.
10% Owner · Other
Northwater Capital Inc.
10% Owner · Other
Period of report
Dec 2, 2016
Accepted (ET)
Dec 5, 2016 · 9:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001272842
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1,F2 | $2.60 | Dec 2, 2016 | J | 2,000 | D | — | Jan 18, 2021 | Common Stock | 2,000 | 6,000 | I |
| Stock Option (right to buy)F1,F2 | $2.30 | Dec 2, 2016 | J | 2,000 | D | — | Jun 12, 2023 | Common Stock | 2,000 | 6,000 | I |
| Stock Option (right to buy)F1,F2 | $3.10 | Dec 2, 2016 | J | 1,000 | D | — | May 12, 2024 | Common Stock | 1,000 | 3,000 | I |
| Stock Option (right to buy)F1,F2 | $1.60 | Dec 2, 2016 | J | 9,323 | D | — | Jun 11, 2025 | Common Stock | 9,323 | 27,970 | I |
| Stock Option (right to buy)F1,F2 | $1.90 | Dec 2, 2016 | J | 3,357 | D | — | May 24, 2026 | Common Stock | 3,357 | 10,070 | I |
Explanation of responses
- F1See Exhibit 99.1; Note 1.
- F2See Exhibit 99.1; Note 2.
Remarks
*** Northwater Capital Inc., Northwater Capital Management Inc. and Northwater Intellectual Property Fund L.P. 1 are each a "director by deputization" solely for purposes of Section 16 of the Securities Exchange Act of 1934. Exhibit List: Exhibit 99.1 - Explanation of Responses Exhibit 99.2 - Joint Filer Information and Signature